Professional Responsibility in Litigation

Addressing the numerous and significant professional responsibility challenges in litigation, this compendium traces the ethical issues in the life of a lawsuit from start to finish. In discussing the various subjects, the authors broadly define "professional responsibility" to include not only legal ethics but also the related issues of sanctions and professional liability.

This completely revised edition now includes new chapters on conflicts of interest and accidental and impromptu clients, and also provides a wider discussion of social media ethics in a focused chapter on this evolving topic. All other chapters have been substantially updated and, in some cases, prudently condensed for ease of use and provide ample citations to authority to guide readers in their own research.

Each chapter covers a key aspect of litigation in depth, compartmentalizing the subjects so that readers do not have to jump back and forth between chapters to understand the principles and rules in play. Topics covered include:

• Conflicts of interest
• Pre-suit investigation and frivolous claims
• Surreptitious investigations and discovery
• Compensating fact witnesses
• Ex parte communications
• Civility and candor
• False testimony by clients and witnesses
• Lawyers as witnesses
• Negotiation and settlement
• Social media
• Accidental and impromptu clients
• Ethics on appeal, and more

Doug Richmond is Managing Director of Aon's Professional Services Group. Aon's Professional Services Group is the world's largest broker of insurance for law firms. Doug consults with Aon's 275 law firm clients on professional responsibility and liability issues, and additionally leads Aon's loss prevention and claims advocacy efforts for all professions.

Before joining Aon, Doug was a partner with Armstrong Teasdale LLP in Kansas City, Missouri (1989-2004), where he had a national trial and appellate practice. In his time at Armstrong Teasdale, he tried over 40 major cases as "first chair" and was often engaged to handle appeals of cases tried by other lawyers. In 1998, he was named the nation's top defense lawyer in an insurance industry poll as reported in the publications Inside Litigation and Of Counsel. He is a member of the ABA's Standing Committee on Ethics & Professional Responsibility (2016-19). He is also a member of the American Bar Foundation, American Law Institute (ALI), American Board of Trial Advocates (ABOTA), International Association of Defense Counsel (IADC), and Federation of Defense and Corporate Counsel (FDCC). Doug has also been selected to The Best Lawyers in America in the areas of legal malpractice, personal injury litigation, and railroad law. In 2003, the Euromoney Legal Media Group named him as one of the nation's top insurance and reinsurance lawyers.

Doug is the lead author of the book Professional Responsibility in Litigation (2d ed. 2016), and the co-author of an insurance law treatise, Understanding Insurance Law (5th ed. 2012) and an insurance law casebook, Cases and Materials on Insurance Law (7th ed. 2013). He is also a named editor of the New Appleman Insurance Law Practice Guide. He has published more than 60 articles in university law reviews, and many more articles in other scholarly and professional journals. Doug teaches Legal Ethics at the Northwestern University School of Law, and Insurance Law and a seminar on Liability Insurance Law at the University of Florida College of Law. He previously taught Trial Advocacy and Insurance Law at the University of Kansas School of Law, and Insurance Law and a seminar on Damages at the University of Missouri School of Law. Doug is also a regular NITA faculty member, teaching both deposition and trial skills.

Doug earned his J.D. at the University of Kansas, an M. Ed. from the University of Nebraska, and his B.S. from Fort Hays State University.

Brian S. Faughnan is the founder and owner of Faughnan Law, PLLC located in Memphis, Tennessee. In addition to appellate litigation and commercial litigation, Brian's practice is heavily focused on solving problems for lawyers in the areas of lawyer ethics and professional responsibility. Brian maintains a civil litigation practice focused on business and commercial litigation, and appellate litigation. Brian is listed in The Best Lawyers in America (Appellate Law, Litigation-First Amendment, and Ethics and Professional Responsibility), listed as a "Super Lawyer" by Mid-South Super Lawyers, and has an AV rating from Martindale Hubbell.

Brian is a frequent author and speaker on ethics and professional responsibility issues. He is a co-author of the book "Professional Responsibility in Litigation," the Third Edition of which has been published by the ABA. He shares his thoughts on legal ethics, professional responsibility, and other aspects of the law of lawyering at www.faughnanonethics.com. He is a former Chair of the TBA's Standing Committee on Ethics and Professional Responsibility and a former President of the Association of Professional Responsibility Lawyers.

Michael L. Matula is a shareholder in the Kansas City, Missouri, offices of Ogletree Deakins Nash Smoak, Stewart, P.C., a national labor and employment law firm. Mike previously was an associate and then a partner with Armstrong Teasdale LLP in Kansas City, where he worked closely with Doug Richmond. Mike concentrates his practice in employment litigation and counseling, and has represented employers in a wide variety of aggravated and complex litigation. He has significant jury trial experience in employment and civil rights matters. Additionally, Mike has considerable experience in the defense of commercial, tort, and insurance cases, including the representation of lawyers and other professionals, both at trial and on appeal. He continues to handle select matters in these areas. Mike's litigation practice includes an emphasis in e-discovery and he has completed a related certification course. He regularly speaks on employment law subjects to industry and professional audiences, and is a frequent author. Mike earned his J.D. from the University of Kansas School of Law in 1996, where he was selected to the Order of the Coif and was Notes and Comments Editor of the Kansas Law Review. He earned his B.A. degree from Claremont McKenna College in 1993.